2009/12/18 City Council Agenda PacketCity of Rohnert Park* 130 Avram Avenue+Rohnert Park, California 94928
Phone: (707) 588-2227 ♦ FAX: (707) 792-1876 ♦ WEB: www.rpcity.org
ROHNERT PARK CITY COUNCIL
SPECIAL MEETING
NOTICE AND AGENDA
NOTICE IS HEREBY GIVEN that a SPECIAL MEETING of the
CITY COUNCIL of the CITY OF ROHNERT PARK,
will be held on
Friday, December 18, 2009 at 3:00 p.m.
at the Rohnert Park City Hall - Council Chamber
130 Avram Avenue, Rohnert Park, California
Said special meeting shall be for the purpose of the following:
3:00 p.m.
1. CITY COUNCIL SPECIAL MEETING - Call to Order/Roll Call
(Belforte_ Breeze_ CallinanMackenzie_ Stafford
2. PUBLIC COMMENTS
3. ADJOURN TO CLOSED SESSION IN CONFERENCE ROOM 2A TO CONSIDER:
1. CONFERENCE WITH LABOR NEGOTIATORS (Government Code §54957.6)
Agency designated representative: Daniel Schwarz, Interim City Manager
Service Employees' International Union (S.E.I.U.) Local 1021
4. RECONVENE SPECIAL MEETING OPEN SESSION
5. MAYOR'S REPORT ON CLOSED SESSION (Government Code § 54957.1)
6. TENTATIVE LABOR AGREEMENT
Consideration of approving the Summary of Terms and Conditions of Agreement with
Service Employees' International Union (S.E.I.U.) Local 1021
1. Staff Report
2. Public Comments
3. Resolution for Adoption:
a. 2009-134 Approving the Summary of Terms and Conditions of Agreement with
Service Employees' International Union (S.E.I.U.) Local 1021
• Council motion
• Council discussion
• Council vote
Rohnert Park City Council SPECIAL MEETING A14enda (2 of 2) December 18, 2009
7. FRAUD IN THE WORKPLACE POLICY
Consideration of adopting a policy which defines acts of fraud and outlines the
consequences of workplace fraud
1. Staff Report
2. Public Comments
3. Resolutions for Adoption:
a. 2009-135 Adopting a Fraud in the Workplace Policy
• Council motion
• Council discussion
• Council vote
8. ADJOURNMENT of City Council Special Meeting
DISABLED ACCOMMODATION: If you have a disability which requires an interpreter or other
person to assist you while attending this City Council meeting, please contact the City Offices at (707)
588-2225 at least 72 hours prior to the meeting to ensure arrangements for accommodation by the City.
Please make sure the City Manager's office is notified as soon as possible if you have a visual impairment
requiring meeting materials to be produced in another format (Braille, audio -tape, etc.)
PUBLIC COMMENTS: For public comment on items listed or not listed on the agenda, or on agenda
items if unable to speak at the scheduled time (limited to three minutes per appearance and a 30 minute
total time limit, or allocation of time based on number of speaker cards submitted)
- PLEASE FILL OUT A SPEAKER CARD PRIOR TO SPEAKING-
Griffin, Terri
From: Lidster, Beth
Sent: Friday, December 18, 2009 8:17 AM
To: Griffin, Terri
Subject: FW: Special meeting Friday
Here's Jake's confirmation that he received the Agenda at 1:OOpm Thursday — our time.
Beth Lidster
Administration
130 Avram Avenue
Rohnert Park, CA 94928
707 588-2226
707 792-1876 [fax]
blidster .rpcity.org
From: blumacjazz@aol.com [mailto:blumacjazz@aol.com]
Sent: Friday, December 18, 2009 12:27 AM
To: Lidster, Beth
Subject: Re: Special meeting Friday
RECEIVED FAX 10pm thursday at copenhagen hotel ie 1 pm thursday pdt'- so ok.AIR FORCE ONE JUST LAND IN THE
SNOW HERE AT COPENHAGEN AIRPORT WHERE IM HANGING IN THE sas lounge
off to london town see ya soon JAKE
9 Jake Mackenzie, Council Member 1536 Gladstone Way, Rohnert Park, CA 94928 707-584-1195[home] 707-584-
2338[fax]
-----Original Message -----
From: Lidster, Beth <blidster@rpcity.org>
To: Mackenzie, Jake <jmackenzie@rpcity.org>; Blumacjazz@aol.com
Cc: Lidster, Beth <blidster@rpcity.org>
Sent: Wed, Dec 16, 2009 7:07 pm
Subject: FW: Special meeting Friday
Good morning Jake —
Please follow the email thread about the Special council meeting scheduled this Friday, December 18, 2009, at 2:00
p.m.
Terri said we have to get an Agenda in your hands 24 hours before the meeting. I can fax one to you if you will supply
me with a fax number — or email it and have you print it out. This should be a short meeting 30-60 minutes. If you
want them to Conference call you during the meeting, that is okay too — we will need your phone number (it would be
about 11:00 p.m. your time). But, you don't have to worry about that because we will have a quorum.
Please let me know ASAP and have a great day.
Beth Lidster
Administration
707 588-2226
707 792-1876 [fax]
blidsterArpcity.om
From: Lidster, Beth
Sent: Wednesday, December 16, 2009 8:10 AM
To: Stafford, Pam; Belforte, Gina; Breeze, Amie; Callinan, Joseph
Cc: Griffin, Terri; Lidster, Beth
Subject: Special meeting Friday
Importance: High
Dan would like to call a Special meeting of the Council to approve a tentative agreement with SEIU this Friday
— either from 2:00-3:00pm or from 10:00-11:00am. Please let me know if either or both times would work for
you as soon as possible.
Thank you,
Beth Lidster
Administration
130 Avram Avenue
Rohnert Park, CA 94928
707 588-2226
707 792-1876 [fax]
blidster .rpcitV.orq
.�... i�14.v V iv. IJ -2 1•AA I V I VOO 6600 li1LY Ul KO(I(I(Ary rnry
Ti REPORT
TRANSMISSION OR
TX/RX NO 0225
RECIPIENT ADDRESS 0114533311441
DESTINATION ID
ST. TIME 12/17 13:54
TIME USE 00'38
PAGES SENT 3
RESULT OR:
im IUI It i
Griffin, Terri
From: Lidster, Beth
Sent: Thursday, December 17, 2009 8:43 AM
To: Griffin, Terri
Subject: FW: Special Council meeting Friday, 12/18
Sounds to me like we send it to Copenhagen when it's ready.
Beth Lidster
Administration
130 Avram Avenue
Rohnert Park, CA 94928
707 588-2226.
707 792-1876 [fax]
blidsterArpcity. org
From: blumacjazz@aol.com [mailto:blumacjazz@aol.com]
Sent: Thursday, December 17, 2009 8:40 AM
- To: Lidster, Beth
Subject: Re: Special Council meeting Friday, 12/18
sorry not at hotel in london at cousins no fax number. Just send something today ill be leaving copenhagen hotel about
midnight your time
9 Jake Mackenzie, Council Member 1536 Gladstone Way, Rohnert Park, CA 94928 707-584-1195[home] 707-584-
2338[fax]
-----Original Message -----
From: Lidster,. Beth <bl idster @ rpcity.org>
To: blumacjazz@aol.com
Sent: Thu, Dec 17, 2009 5:28 pm
Subject: RE: Special Council meeting Friday, 12/18
Do you want us to send it to the London hotel? If so, please give us the name of the hotel and we can track down the
fax number. If you won't check out of Copenhagen until afternoon, we might be able to send it there — it depends on
what time the agenda is finalized.
Beth Lidster.
Administration
130 Avram Avenue
Rohnert Park, CA 94928
707 588-2226
707 792-1876 [fax]
blidster cbrpcity.orq
From: blumacjazz(abaol.com [mailto:blumacjazz@aol.coml
Sent: Thursday, December 17, 2009 2:26 AM
To: Lidster, Beth; santabfm(5)aol.com .
Subject: Re: Special Council meeting Friday, 12/18
THx both for info will check with hotel desk re agenda.tommorrow will be in London at 11 pm london time . YES A
CHAOTIC CONFERENCE. MORE NEXT WEEK. cheers from snowy CopenhagenJAKE
9 Jake Mackenzie, Council Member 1536 Gladstone Way, Rohnert Park, CA 94928 707-584-1195[home] 707-584-
2338[fax]
-----Original Message -----
From: Lidster, Beth <blidster@rpcity.org>
To: Blumacjazz@aol.com; Mackenzie, Jake <jmackenzie@rpcity.org>
Sent: Wed, Dec 16, 2009 10:26 pm
Subject: Special Council meeting Friday, 12/18
Hello again,
The meeting time has been changed to 3:00 p.m. (midnight your time). 4 Councilmembers will be there, so
you don't need to worry about a Conference call. We do need to get an. Agenda in your hands 24 hours, prior
to meet Brown Act requirements. Please let us know the hotel fax number or if you want me to email it to
someone.
Thank you. From what I've read, you've had an eventful Conference.
Beth Lidster
Administration
130 Avram Avenue
Rohnert Park, CA 94928
707 588-2226
707 792-1876 [fax]
blidster upcity.orq
2
j
.!'r��er•wr� �
City of Rohnert Park* 130 Avram Avenue ♦ Rohnert Park, California 94928'
Phone: (707) 588-2227*FAX: (707) 792-1876*WEB: www.rpcityor�
ROHNERT PARK CITY COUNCIL
SPECIAL MEETING
NOTICE AND AGENDA
NOTICE IS HEREBY GIVEN that a SPECIAL MEETING of the
CITY COUNCIL of the CITY OF ROHNERT PARK,
will be held on
Friday, December 18, 2009 at 3:00 p.m.
at the Rohnert Park City.Hall - Council Chamber
130 Avram Avenue, Rohnert Park, California
Said special meeting shall be for the purpose of the following:
3:00 p.m.
1. CITY COUNCIL SPECIAL MEETING - Call to Order/Roll Call
(Belforte Breeze Callinan Mackenzie Stafford
2. PUBLIC: COMMENTS
3. ADJOURN TO CLOSED SESSION IN CONFERENCE ROOM 2A TO CONSIDER:
..1. CONFERENCE WITH LABOR NEGOTIATORS (Government Code §54957.6)
Agency designated representative: Daniel Schwarz, Interim City Manager
Service Employees' International Union (S.E.I.U.) Local 1021
4. RECONVENE SPECIAL MEETING OPEN SESSION
5. MAYOR'S REPORT ON CLOSED SESSION (Government Code § 54957.1)
6. TENTATIVE LABOR AGREEMENT
Consideration of approving the Summary of Terms and Conditions of Agreement with
Service Employees' International Union (S.E.I.U.) Local 1021
1. Staff Report
2. Public Comments
3. Resolution for Adoption:
a. 2009-134 Approving the ` Summary of Terms and Conditions of Agreement with
Service Employees' International Union (S.E.I.U.) Local 1021
• Council motion
• Council discussion
0 Council > vote
7. FRAUD IN THE WORKPLACE POLICY
Consideration of adopting a policy which defines acts of fraud and outlines the
consequences of workplace fraud
1. Staff Report ,
2. Public Comments
3.. Resolutions for Adoption:
a. 2009-135 Adopting a Fraud in the Workplace Policy
• Council motion
• Council discussion
• Council vote
8. ADJOURNMENT of City Council Special Meeting
DISABLED ACCOMMODATION: If you have a disability which requires an interpreter or other
person to assist you while attending this City Council meeting, please contact the City Offices at (707)
588-2225 at least 72 hours prior to the meeting to ensure arrangements for accommodation by the City.
Please make sure the City Manager's office is notified as soon as possible if you have a visual impairment
requiring meeting materials to be produced in another format (Braille, audio -tape, etc.)
PUBLIC COMMENTS: For public comment on items listed or not listed on the agenda, or on agenda
items if unable to speak at the scheduled time (limited to three minutes per appearance and a 30 minute
total time limit, or allocation of time based on number of speaker cards submitted)
- PLEASE FILL OUT A SPEAKER CARD PRIOR TO SPEAKING-
12/18/09 City Council
Special Meeting Agenda
ITEM NO.6
RESOLUTION NO. 2009-134 RESOLUTION N0.2009-134
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ROHNERT PARK
APPROVING THE SUMMARY OF TERMS AND CONDITIONS OF THE
AGREEMENT WITH SERVICE EMPLOYEES' INTERNATIONAL UNION
(S.E.I.U.) LOCAL 1021
WHEREAS, Service Employees' International Union (S.E.I.U.) Local 1021 has ratified
the terms and conditions contained in its agreement with the City of Rohnert Park ("City");
WHEREAS, S.E.I.U. Local 1021 has not yet finalized its agreement (e.g., Memorandum
of Agreement) with the City; and
WHEREAS, the City Council wishes to recognize and approve the Summary of Terms
and Conditions of Agreement with S.E.I.U. Local 1021.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Rohnert
Park that it does hereby authorize and approve the terms and conditions contained in the attached
Summary of Terms and Conditions of Agreement with S.E.I.U. Local 1021 to implement
employment, wage and benefit changes.
BE IT FURTHER RESOLVED that the City Council directs staff to prepare the
Memorandum of Agreement in accordance with the terms and conditions.
DULY AND REGULARLY ADOPTED this 18`h day of December; 2009.
ATTEST:
City Clerk
CITY OF ROHNERT PARK
Mayor
V
Summary of Terms and Conditions of Agreement)
Service Employees International Union, Local 1021
Term: Two Years (July 1, 2009 through June 30, 2011)
Wage: No cost of living adjustment (COLA) during the term of the Agreement.
Furloughs:
• A furlough of 160 hours will be established for the term of this Agreement.
Employee's monthly salary will be reduced by a percentage equal to
approximately 8.89 hours per month for the 18 month period between January 1,
2010 and June 30, 2011, representing a total of 160 hours. The unpaid furlough
represents an approximate annualized reduction of 3.85%.2
• By January 1, 2010 the parties will establish a schedule of the "monthly days off'
for the 18 -month period, to include sixteen (16) nine -hour days off, and two (2)
eight-hour days off for a total of 160 hours. Days off shall be on Mondays of
non -holiday weeks (generally the third Monday of the month).
• The Union agrees to suspend the portion of Section 1.1 of the Agreement that
provides for all employees to work the same 9/80 schedule, and agrees to continue
to work the "A/B" work schedule in place as of December 1, 2009.
• This Agreement regarding Furloughs will be contained in a Side Letter.
PERS Retirement: Effective July 1, 2011 newly -hired City employees will participate.
in the Ca1PERS 2% at 55 retirement program.
Standby: All employees living within twenty (20) minutes of the Maintenance Yard
based upon MapQuest estimates shall be eligible for Standby duty.
Personal Leave: All members of the bargaining unit are entitled to utilize twenty-four
(24) hours of paid personal leave each year of the Agreement. This provision expires on
June 30, 2011. The Department shall accommodate the request for personal leave unless
the Department would incur overtime charges. This personal leave is in addition to any,
other leaves granted under this Agreement.
' The purpose of the Summary of Terms and Conditions of Agreement is to provide an outline of the
amendments to enable a timely implementation of salary and benefit changes. Final language of these
Terms and Conditions will be incorporated in the Memoranda of Agreement (Furlough in a Side Letter)
with the consent and agreement of SEIU.
2 Implementation of the furloughs for FLSA-exempt employees will differ from the implementation for
non-exempt employees. The City shall meet and confer with SEN about the implementation of the
furloughs for this category of employees.
Agenda Packet Preparation TIMELINES for Regular City Council Meetings
{This section for City Clerk Use Only)
held on the 2"d & 4`h Tuesdays of each month:
• Resolutions (other than standard formats for authorizations and approvals), Ordinances &
Agreements to Assistant City Attorney via email for review and approval as to form DUE no
12/18/09 City Council
later than NOON Three (3) Mondays prior to Council meeting date
Special Meeting Agenda
• Agenda items to City Manager via email for his review and responding "email authorization",
synchronized with above timeframe of Assistant City Attorney review, and an email copy to the
ITEM NO.7
City Clerk for drafting agendas
-
• Agenda Items w/attachments via email and twenty (20) complete hard copy sets with 2 sets
RESOLUTION NO. 2009-135
single -sided & 18 sets double-sided/stapled to City Clerk DUE no later than NOON Two (2)
Fridays prior to Council meeting date
• Agenda Draft review by Mayor, City Manager, Assistant City Attorney, City Clerk no later
than Tuesday morning One (1) week prior to Council meeting date
• Agenda Packets distributed to City Council and Agendas posted/distributed/mailed on
Thursday afternoon One (1) week prior to Council meeting date in compliance with Rohnert
Park Municipal Code Section 2.08.020 and related Resolution No. 2008-173
CITY OF ROHNERT PARK
COUNCIL AGENDA ITEM TRANSMITTAL REPORT
Meeting Date: December 18, 2009
Department: Finance
Submitted By: Sandy Lipitz, Director of Administrative Services
Submittal Date: December 16, 2009
Agenda Title: Fraud in the Workplace Policy
. Requested Council Action: Adopt Policy
Summary:
As a part of last year's audit, the City's external auditors, Odenberg, Ullakko Muranishi & Co. LLP
recommended that, as a matter of "best practices", the City develop an anti -fraud policy which establishes
the ground rules that clarify that fraud will not be tolerated and spells out the consequences of fraud. The
auditors further suggested that this policy be acknowledged and signed by each employee/volunteer as
evidence that they understand the policy.
Staff has worked with the Assistant City Attorney to draft a Fraud in the Workplace Policy that outlines'
acts that are considered fraudulent, the steps to be taken when fraud is suspected and the procedures to be
followed in accounting for missing funds, restitution and recoveries. Staff recommends that -the City
Council adopt this policy prior to the end of the calendar year so that this accomplishment can be included
in the 2009 auditor's report.
Enclosures: Resolution; draft policy
CITY ATTORNEY'S REVIEW:
Relevant documents for this agenda item have been reviewed and approved as to form by the City Attorney.
CITY MANAGER'S RECOMMENDATION: O Consent Item (X) Regular Time '
(X) Approval () Public Hearing Required
O Not Recommended O Submitted with Comment
( ) Policy Determination by Council
O City Comments:
Per Interim City Manager's review and direction for distribution of this agenda -item.
RESOLUTION NO. 2009-135
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ROHNERT PARK
ADOPTING A FRAUD IN THE WORKPLACE POLICY
WHEREAS, the City's external auditor, Odenberg, Ullakko Muranishi & Co. LLP, has
recommended as a best practice that the City develop an anti -fraud policy, which defines acts of
fraud, establishes that fraud in the workplace will not be tolerated and outlines the consequences
of workplace fraud;
WHEREAS, the City's external auditors further recommended that this policy be
acknowledged and signed by each employee/volunteer as evidence that the employee/volunteer
has received and understands the policy; and
WHEREAS, staff has prepared a Fraud. in the Workplace policy that outlines acts that
are considered fraudulent, the steps to be taken when fraud is suspected, and the procedures to be
followed in accounting for missing funds, restitution and recoveries.
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Rohnert
Park adopts and directs City staff to implement the City. of Rohnert Park Fraud in the Workplace
Policy attached as Exhibit "A."
DULY AND REGULARLY ADOPTED by the City Council of the City of Rohnert
Park this 18`h day of December, 2009.
CITY OF ROHNERT PARK
Mayor
ATTEST:
City Clerk
EXHIBIT A
City of Rohnert Park
PERSONNEL PROCEDURES
Effective Date:
Approved by:
Legal Review by:
Subject: Fraud in the Workplace
I PURPOSE
To establish policy and procedures for clarify` rig acts4 t are considered to be
fraudulent, describing the steps to be taken' when fraud or other related
dishonest activities are suspected, and providing procedures to follow in
accounting for missing funds, restitutio and recoveries.'
II. PERSONS AFFECTED
NK
{
All City -of Rohnert Park Employees (defined`°below)
9 �
M. POLICY
�wa
A. STATErMENT�
The CityPoM. ohnert Park ("the City is committed to protecting its assets
against .the risk of loss or misuse. accordingly, it is the policy of the City of
Rohnert Parkto idenfyczn.i?oriiptly investigate any possibility of fraudulent
tai
otedVishones —activities against the City and, when appropriate, to
P'
pursue legal remedies available under the law.
B:. SCOPE t °
This�policy appllii°es to any actual or suspected fraud, waste or abuse of
resources Jn�olving the City employees. Any investigative activity will be
rl
conducted. thout regard to the suspected wrongdoer's length of service,
position/t tle or relationship to the City.
C. DEFINITIONS
1. Fraud — an act committed by one whom, by deceit, falsehood, or other
fraudulent means, defrauds the public or any person of any property,
money, or valuable security or any service. Fraud, as used herein,
and other similar irregularities, refer to, but are not limited to the
following:
1
1271009v 1 A 80078/0012
a. Claim for reimbursement of expenses that are not job-related or
authorized by the current Memorandum of Understanding.
b. Forgery or unauthorized alteration of documents (checks,
promissory notes, time sheets, independent contractor agreements,
purchase orders, budgets, etc).
c. Misappropriation of City assets (funds, securities, supplies,
furniture, equipment, etc.).
° R•
d. Improprieties in the handling or reportingpf}money transactions.
e. Authorizing or receiving payment
services not performed.
f. Computer-related activity involvir
destruction, forgery, or rnanlpulati
City -owned software.
g•
h. Any apparent vic
dishonest activiti
i.
of informati
h the Cityli
icants, and
e -with the
Fair Poli
received or
data or mi
iation of
laws related to
g of material'value from those doing
.ing vendors, consultants, contractors,
ees. Materiality shall be determined
Conflict of Interest Code, which
is Code of Regulations Section 10730,
Practices Commission.
2. Em lo.:.ee - any individual employed by the City of Rohnert Park,
eitherNRill- or part-time status, whether or not compensated.
I
ent — any administrator, manager, director, supervisor, or
ividual who manages or supervises funds or other resources,
human resources.
4. Internal Auditor — any person or persons assigned by the City
Manager to investigate any fraud or similar activity on a case by case
basis.
5. External Auditor — independent audit professionals who perform
annual audits of the City's financial statements.
6. Bad Faith Complaint — a complaint made with malicious intent.
2
1271009v1A 80078/0012
7. Retaliation — unlawful discrimination that occurs when an employee
is harassed or suffers an adverse employment action for assisting in
an.investigation of unlawful or fraudulent employment practices.
Also referred to as unlawful retaliation or retaliatory harassment.
IV. PROCEDURES
A. REPORTING FRAUD IN THE WORKPLACE .
Employees shall report all instances of suspected fraud:
so by speaking with their direct supervisor. If the<einpl
supervisor may be involved in the fraud or similarlyua
if there is any other reason the employee belie es it wo
-to report to the supervisor, the employeeshall make the
next higher level of management and/st-ror%to the City Mat
B. ANTI-RETALIATI.ON STA
No employee shall retaliate against another
li
pursuant to this policy. Ernployeees found to
subject to disciplinary action? up42
and inch
ployees may do
believes that the
priate activity, or
)t be appropriate
rt directly to the
who reports an incident
ated this section may be
C. INTERNAL CONTROLS ANDVVESTIGATIONS
;AA 14Q+
Each department ofle City is responsible for instituting and maintaining a
systemAf irnternal control to provide'xeasonable assurance for the prevention
r=
and detection;,of�fraud, Srnisa propnattons,.and other- irregularities in their
department. 1VIanagement4shoW7..;be familiar with the types of improprieties "
that migl tZ`ccur within their area of responsibility and be alert for any
indications q]f such conduct
`LIss the City's in nt to `fully investigate any suspected acts of fraud,
misappropriation -:or other similar -irregularity. An objective and impartial
investigation -will conducted regardless of the position title length of
service -or relationship with the City of any party who is suspected of fraud.
w�
An overview of the investigations process is as follows:
1. The Internal Auditor, in conjunction with the City Attorney, has the
primary responsibility for the investigation of all activity as defined in -this
policy.
2. Throughout the investigation, the Internal Auditor will inform the City
Manager of pertinent investigative findings.
3
.1271009v1A 80078/0012
3. Upon conclusion of the investigation, the results will be reported to the
City Manager.
4. The City Manager, following review of investigation results, will take
appropriate action regarding employee misconduct.. If the investigation
substantiates that fraudulent activities have occurred, disciplinary action
may include termination in accordance with the City's Personnel Policies
and Procedures or Memorandum of Understanding (as applicable) and
referral of the case to the District Attorney's Office, or other appropriate
law enforcement agency for possible prosecution. Decision to prosecute
and/or refer any investigation results to the Districta`Atorney's Office or
other appropriate law enforcement agency wiltKe made in conjunction
with the City Attorney, as will final decision: of disposition of the -case.
5. The City may pursue every avai
ordered restitution, to recover C
appropriate sources:,
D. RIGHT TO RESPOND
A person under investigation for f
essential particulars of the.allegaft
investigation. Where notice 1s giv
being made may submit a written
investigated to the Ititernal Audi o
notice is receivedTle Internal A
4 , ...
submittedhereunder as part of the
may
V.M KEY
stwitn a De
-1dy, including court -
the offend r or other
is to begs ven notice in writing of
)rior to the,reclusion of the
11 -person ag rest whom allegations are
tnation concerning such matters being
later than seven calendar days after
ir, shall consider any written explanation
:stigation record. The Internal Auditor
funder investigation for fraud as
and Commissioner. Responsibilities
the Mdyor, a City Council member, or a Commissioner has reason
>uspe t that fraud has occurred, he or she shall immediately contact
'City Manager.
2. The Mayor, City Council member, or, Commissioner shall not attempt
to investigate .the suspected fraud or discuss the matter with anyone
other than the City Manager.
3. The alleged fraud or audit investigation shall not be discussed with.the
media by any person other than through the City Manager in
consultation with the City Attorney and the Internal Auditor.
B. Management Responsibilities
4
1271009v1A 80078/0012
1. Management is -responsible for being alert to and reporting to their
immediate supervisor any fraudulent or related dishonest activities in
their areas of responsibility. -
2. Each manager should be familiar with the types of improprieties that
might occur in his or her area and be alert for any indication that -
improper activity, misappropriation, or dishonest activity is or was in
existence in his or her area.
3. When an improper activity is detected suspected, management
should determine whether an error or mistake has occurred or if there
may be dishonest or fraudulent activity- r
4. If management determines a susp".ebte&activity' -4y.involvefraud or
related dishonest activity, ey should contact'N'their immediate
supervisor. Department Directors should inform the City Manager.
5. Management should not attemptto conduct individual i stigations;
interviews, or inte ogations. However; management -is responsible for
taking appropriate c' rrective actions t �In�sure adequate controls exist
to prevent recurrence;'of44mpro er actions `
6. Management shall support the City'M'anager's responsibilities and
cooperate a ly with the InternaI Auditor and other involved
departments, and law enfo cement agencies in the detection, reporting,
O nvestigation of criminal acts,. including the prosecution of
offend' rs
" 4k,9�
�
A
7. ,V'S' biect t6f ;applicable federal, state and local laws governing
confidentiali y management, in conjunction with the City Attorney's
officeshall provide access to all necessary records and personnel in
n'
connection with any City investigation of fraudulent activities.
t '
8In dealing with suspected dishonest or fraudulent activities, great care
mustbe taken. Therefore, management should avoid the following:
a. Incorrect accusations.
b. Alerting suspected individuals that an investigation is
underway.
c. Treating employees unfairly.
d. Making statements that. could lead to claims of false
accusations or other offenses.
9. In handling dishonest or fraudulent activities, management has the
responsibility to:
5
1271009AA 80078/0012
a. Make no contact (unless requested) with the suspected
individual to determine facts or demand restitution. Under no
circumstances should there be any reference to "what you did",
"the crime", "the fraud", "the misappropriation", etc.
b. Avoid discussing the case, facts, suspicions, or allegations with
anyone outside the City, unless specifically directed to do so by
the City Attorney.
c. Avoid discussing the case with anyone --inside the City other
than employees who have a needto know such as the City
1411'
Manager, Internal Auditor, CityAttorney, or law enforcement
personnel.
d. Direct all inquiries fro imilie suspected individual or his or her
representative, to the City Manager or CityAttorney. All
inquiries by an attorneyof the suspected individual should be
directed to the City Atto eye`' All'�inquiries from; the media
should be directed to the CitvOManaaer.
e. Take appropH
including dism
accordance wi
C. Inter'ialAuditor 'Resnonsibiliti
'romntly investiaate the
and disc pl`mary action, up to and
t
isultin&with the City Manager, in
re' sonnel Policies and Procedures
riding (as applicable).
City Manager, the Internal Auditor will
2. In allci'rcumsta.nces where the City Manager. determines there to be
reasonable grounds for suspecting that a fraud has taken place, the City
0 Manager 1m ay direct the Internal Auditor, in consultation with the City
'; ;attorney, to contact the Rohnert Park Public Safety Department.
3, The Internal Auditor may be authorized, to receive relevant,
confidential information to the extent allowed by law, as determined
by the City Manager and the consultation with the City Attorney. The
Internal Auditor shall take all necessary steps to maintain the
confidentiality of such information.
4. If evidence gathered by the Internal Auditor substantiates a finding of
possible dishonest. or fraudulent activities, the Internal Auditor will
proceed as follows:
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a. Discuss the finding with managementand the Department
Director.
b. Advise management, if the case involves staff members, to
meet with the City Manager (or his/her designated
representative) to determine if disciplinary actions should
be taken.
c. If directed by. the City Manager, report- to the External
Auditor such activities in order to assess the effect of the
illegal activity on the City's finanal statements.
d. If directed by the City Manager;scoordinate with the City's
Risk Management regarding notification to insurers and
filing of insurance claimsf . ,..
e. Take immediateAaction, in, consultationthPthe City
Attorney, to prevefif; the alteration, orad. estruction of
evidentiary records. Such�actlon shall include, but is not
i. Removing the records 2 drplacing them in a secure
location, orhkmting access to the location where the
%_ "ITRI11
Preventing the individual suspected of committing
the fraudN.Erom having access to the records.
,Ife Internal Auditors ontacted by the media regarding an alleged
Eaud�or ud investigation, the -Internal Auditor will consult with the
Ci�y; Manage'? d „the City Attorney, as appropriate, before responding
to am requestjfor information or interview.
At the conclusion of the investigation, the Internal Auditor will
`document the results in a confidential memorandum report to the City
Manager and the City Attorney. If the report concludes that fraud has
Moc , ed, the City Manager, in consultation with the City Attorney,
may authorize the report to be forwarded to the Rohnert Park Public
Safety Department.
7. The Internal Auditor will be required to make recommendations to the
appropriate department* for assistance -in the prevention of future
similar occurrences.
8. Upon completion of the investigation; including all legal and personnel
actions, all records, documents, and other evidentiary material;
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12710090A 80078/0012
obtained from the department under investigation will be returned by
the Internal Auditor to that department.
D. Employee Responsibilities
1. A suspected fraudulent incident or practice observed by, or made
known to, an employee must be reported to the employee's supervisor
for reporting to the proper management official.
2. When the employee believes the supervisor may be involved in the
inappropriate activity, the employee shall make the report directly to
the next higher level of management and/oZthe City Manager.
��
60
3. The reporting employees shall refrainfrom furthe, investigation of the
incident, confrontation with* the alleg edd . iolator ib ',� irther discussion
of the incident with anyone, l ess requested by the City Manager,
Internal Auditor, City Attorne dor law enforcement p re sonnei
4. Any employee who makes a Bad0a th Complaint and/or any report
under this policy which the employeNknows or has, reason to believe is
false shall be subjeto disc plinary actio including but not limited to
termination, as. detenn nod by`the City Manager.
8
12710090A 80078/0012